- Gulfstream (Savannah, GA)
- …for employees . + Ensure adequate recordkeeping systems are implemented and maintained for trade compliance activity . + Serve as subject matter expert to ... Compliance . + Manage Import Compliance program and function specific trade compliance projects . + Identify import compliance issues and risk areas,… more
- Wells Fargo (Charlotte, NC)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our career areas and ... its Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Trade Surveillance FICC Subject Matter Expert (SME) will report to the Head… more
- Citigroup (Jacksonville, FL)
- …1 post- trade surveillance alert disposition assigned to the Supervision Officer , must understand and have command over regulatory requirements, investment sales ... The Supervision Officer , reporting to the Cross-Disciplinary Controls Group Manager,...NAM Consumer Wealth Management (CWM) in addition to Post Trade surveillance tasks that may span across the Consumer,… more
- Citigroup (Tampa, FL)
- …TTS business. The role focuses on **Payments products within Global Treasury and Trade Solutions (TTS).** The SVP is also responsible for the efficient execution of ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99.790,00 - 190.995,00 _Please note that the Salary Range ... an important bridge to this key global market for trade and investment flows across the Americas and the...together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. +… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) focused on the **Prime Brokerage ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will ... the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide… more
- JPMorgan Chase (New York, NY)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...rules relevant to securities trading with focus on regulatory trade reporting, best execution, distribution of issues, and SEC… more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- Citigroup (Tampa, FL)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Deloitte (San Jose, CA)
- …valuation requirements. + Process improvement planning and implementation assistance + Trade compliance audit assistance and representation before trade ... on May 31, 2026. What you'll do As a Senior Consultant on our Global Trade Advisory...of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU… more
- Association of National Advertisers (New York, NY)
- … association representing client-side marketers, is seeking a dynamic and strategic Senior Vice President, Deputy Chief Information Officer (Deputy CIO) to ... Power BI and related platforms, driving informed decision-making. + Security and Compliance : Own policies and procedures for system security, data backup,… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to implement and execute SMBC's… more
- Deloitte (Houston, TX)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing… more
- RTX Corporation (Hartford, CT)
- …(FTZ, etc.) + Additional Trade certifications such as Certified US Export Compliance Officer + CTPAT implementation experience + ITAR and EAR authorization ... beyond?** We have an exciting **remote** opportunity for a ** Senior Manager, Global Trade ** . **What You...development and delivery of training for users of PW trade requirements and compliance tools + Support… more
- SMBC (Jersey City, NJ)
- …Program Manager will join the Compliance Administrative Office supporting the Chief Compliance Officer (CCO) for the Americas Division, playing a key role in ... Crime Compliance . **Role Objectives** + Provide support to the Chief Compliance Officer in managing departmental strategic initiatives. + Develop and deliver… more
- Scotiabank (New York, NY)
- …a team leader for Markets Compliance . **What You'll Do** + Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... manuals, policies, and procedures. + Engage with and advise senior management and staff on all issues concerning US...and procedures. + Oversee the development and maintenance of trade compliance programs, policies, and automated systems,… more
- Arena Investors LP (Jacksonville, FL)
- …where others won't. Arena is looking to expand the team through the addition of a senior Compliance Officer . In this role, this individual will work closely ... with the compliance team and have regular interface with staff throughout...provider due-diligence; . Portfolio management review and monitoring (eg trade blotter, trade errors, best execution, allocation,… more
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